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Division of Licensing Services

Child Care Facilities Enforcement Process

The Office of Child Care Licensing uses progressive enforcement when evaluating concerns at facilities. Several areas are reviewed to determine what steps need to be taken a facility cannot meet substantial compliance.

Factors that are considered include: Surveyors work with facilities to assist in understanding why deficiencies have occurred and participate in the resolution to help the provider to develop a plan that explains how these issues will not happen again.

Options that are available to the Department are as follows: Notices of Enforcement are issued only when a facility has not been able to correct deficiencies within a reasonable time frame agreed to by both the Provider and the Department. This process starts after all other options to assist the Providers reach substantial compliance fail.

The following scope and severity Enforcement Matrix is used to determine the types of enforcement actions to be taken. These abbreviations are used in the Matrix:

POC: Plan of Correction
TRO: Temporary Restraining Order

Enforcement Matrix

Severity / Scope Isolated Pattern Widespread
Level 4: Immediate Jeopardy to Resident/Client Health or Safety J     
        POC
Required: Cat 2
Optional: Cat 3
Optional: Cat 1
K     
        POC
Required: Cat 3
Optional: Cat 2
Optional: Cat 1
L     
        POC
Required: Cat 3
Optional: Cat 2
Optional: Cat 1
Level 3: Actual Harm that is not Immediate Jeopardy G     
        POC
Required: Cat 2
Optional: Cat 3
Optional: Cat 1
H     
        POC
Required: Cat 2
Optional: Cat 3
Optional: Cat 1
I     
        POC
Required: Cat 2
Optional: Cat 1
Optional: Cat 3
Level 2: No Actual Harm with Potential for more than Minimal Harm that is not Immediate Jeopardy D     
        POC
Required: Cat 1
Optional: Cat 2

E     
        POC
Required: Cat 1
Optional: Cat 2

F     
        POC
Required: Cat 2
Optional: Cat 1
Optional: Cat 3
Level 1: No Actual Harm with Potential for Minimal Harm A     
        POC
No Enforcement
Remedies
Commitment to
Correct
B   
        POC
Optional: Cat 1



C     
        POC
Optional: Cat 1



Enforcement Remedy Categories1,2

Category 13
Directed POC
Monitoring
Inservice
Directed Inservice


Category 23
Civil Money Penalties
Provisional License
Suspension
Stipulation
Intermediate Sanctions -
Child Care
Category 3
Injunction/TRO
Denial
Revocation
Temporary Manager
Intermediate Sanctions -
Child Care
1 May also pursue a Cease and Desist or an Injunction/Temporary Restraining Order (TRO)against anyone operating a facility without a license, or for violations that place the health and safety of one or more consumer, client, resident and/or patient at risk.
2 The matrix is not used for unlicensed or over capacity entities unless there are health and safety deficiencies.
3 Can be done by a Provider Meeting. All others are by Stipulation or Legal Order.
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2007 Arizona Department of Health Services. All rights reserved. Last Modified: 06/07/2013